11 days old

Sr Manager, Multi Asset Communications Compliance

T. Rowe Price
Baltimore, MD 21202
  • Job Code
    57861

A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.

We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.

If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.

ROLE SUMMARY

The Senior Manager of Multi-Asset Communications Compliance will be embedded within and work closely with the Multi-Asset investment team to identify, research, analyze, advise, comment on and monitor regulatory issues related to sales and marketing materials generated primarily by the Multi-Asset Division and related distribution channels. The incumbents primary focus will be on the review and approval of multi-asset and related communications, including but not limited to Private Funds/Alternatives and Multi-Asset Solutions. The incumbent will, with limited supervision, advise business units on the application of regulatory rules relating primarily to various U.S. broker/dealer and investment adviser regulatory requirements and also collaborate with the GCC global ex-U.S team on relevant local developments. The Senior Manager is required to review complex or novel U.S. and global ex-U.S. communications and make recommendations to the Director, Regulatory Advisory Compliance, respond to regulatory inquiries, and provide consultative services on regulatory matters relating to such communications.

The Senior Manager will lead relevant projects, working closely with business units to create solutions which meet firm and regulatory requirements while enabling the business units to meet their goals and advance strategic initiatives.

RESPONSIBILITIES

  • Acts as a communications compliance subject matter expert for the Multi-Asset strategies, Oak Hill Advisors private funds and alternatives offerings, and related business units in helping to ensure compliance with firm and regulatory requirements. Reviews and identifies potential regulatory issues relating to sales and marketing materials generated by T. Rowe Multi-Asset Division, Oak Hill Advisors and leveraged by the firms distribution channels. Presents to and collaborates with business unit associates and managers on the results of investment communications reviews and provides direction on recommended actions. Identifies potential issues outside of regulatory matters and refers to the relevant subject matter expert for input. Designs controls, process improvements and performs other tasks to ensure the maintenance of a nimble and efficient review process. Reviews and approves communications in accordance with regulatory requirements and firm policy.
  • May manage or mentor others within the team, providing day-to-day oversight of their activities. Responsible for developing and executing best practices with relevant training materials. In the absence of the Director, Regulatory Advisory Compliance, assume day-to-day oversight of the Multi-Asset Solutions communications review process. May also mentor others outside of the team to enhance production and review processes.
  • Leads projects as delegated. Responds to regulatory inquiries from business units relating to sales and marketing activities and ensures adherence to the firms policies, procedures, and guidelines.
  • Contributes to the creation of internal manuals, policies and procedures to ensure adherence to consistent and sound practices.

**Please note that full time remote/telework is possible for this role

Qualifications:

Required:

  • Bachelor's degree or the equivalent combination of education and relevant experience AND
  • 5+ years of total relevant work experience
  • FINRA Series 7 and 24 registrations

Preferred:

  • Experience reviewing and approving investment related marketing materials, including private funds
  • Detailed knowledge of US regulatory requirements related to commingled funds, private funds, separate accounts
  • Ability to build positive relationships with individuals at all levels
  • Excellent communication and negotiation skills
  • Demonstrated ability to influence senior leadership and peers
  • Methodical, with ability to work independently and as a team
  • Ability to prioritize work in a client focused, fast-paced collaborative environment
  • Ability to interpret laws and regulations
  • Ability to represent the firm to regulatory agencies and industry bodies
  • Demonstrated experience within a large complex investment management organization
  • Accredited investment designation such as CIMA, completion of CFA Institute Investment Foundations Program, pursuit of other investment related accreditation
  • Demonstrated experience within the Investments industry, including multi-asset, private funds, and retirement initiatives

Regional Requirements:

This role requires the FINRA Series 7 and Series 24 licenses. Series 24 may be obtained within first 3 months of hire if not currently held

Minimum salary (USD) starts at:

100000

(Colorado only*) Salary range minimum is one component of our total compensation and benefits package. *Note: Disclosure as required by sb19-085 of the minimum salary compensation for this role when being hired into our offices in Colorado.

T. Rowe Price is committed to providing our associates with a comprehensive total rewards benefit program, including wellness, retirement and quality-of-life benefits. Please view What We Offer to see what's available to you.

As part of T. Rowe Prices Health and Safety protocols, effective October 19, 2021, any US-based new hires, including interns will be required to be fully vaccinated against COVID-19 or have a valid medical or religious exemption from receiving a COVID-19 vaccine.

T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race. We believe our continued success depends upon the equal treatment of all associates and applicants for employment without discrimination on the basis of race, religion, creed, colour, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law.







Posted: 2022-01-07 Expires: 2022-02-05
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Sr Manager, Multi Asset Communications Compliance

T. Rowe Price
Baltimore, MD 21202

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